Act as administer of the Wiz software to collect, analyze and report information on and HMDA loans as required by the OCC. Coordinate with Officer to produce analyses of lending patterns for fair lending and purposes. Prepare reports for and Compliance Committees. Submit collected data annually to the OCC.
Monitor daily overdraft reports to detect overdrafts by directors and executive officers. Report to the Compliance Manager any exceptions. Maintain records of corrective action for review by examiners and auditors. Maintain other Insider records and lists.
Assist the compliance officer in preparation of in-person compliance presentations and training sessions. Assign compliance training courses on BVS to officers and employees and monitor completion by due dates. Prepare reports for the Compliance Committee and maintain records of training for review by examiners and internal auditors.
Perform daily downloads and maintain databases of senior political officials and criminals for monthly review against new accounts. Maintain records of downloads for review by examiners and internal auditors.
Assist the compliance officers to compile reports and documentation of compliance program during annual exams of the Bank and the Agencies by the OCC and the Federal Reserve. Provide administrative support and logistics for the examiners during on-site compliance exams.
Maintain the compliance library of reference materials and regulator communications. Assure law books are kept up-to-date and monthly changes added. Distribute articles and regulator bulletins to other departments as applicable.
Maintain the compliance, and BSA files. Assure work papers and documentation of compliance efforts are maintained according to department’s system both on-site and off-site so that all documents may be retrieved for review by the examiners and internal auditors in a timely manner.
Compile confidential data pertaining to employee evaluations, validate spreadsheets. Gather grid information from all compliance staff to analyze for accuracy.
Coordinate payment of grants to charitable and nonprofit organization and maintain records for review by examiners.
Coordinate bill payment and expenses of the department with Accounting and maintain records for budget purposes.
Coordinate the Compliance Manager’s schedule and arrange meetings with other employees and outside contacts.
Create reports based on data retrieved from Nautilus and/or the AS/400.
Sort and distribute daily mail accordingly.
To identify, evaluate, monitor and make any recommendation deemed necessary to their respective Risk Management Committee in order to assess, reduce, eliminate or control any current or prospective risks to earnings or capital arising from violations of, or nonconformance with, laws, rules regulations, prescribed practices, internal policies and procedures or ethical standards.
OTHER PRINCIPAL ACTIVITIES:
Order office supplies.
Report services and repairs needed for office equipment.
Plan Departmental functions.
Print daily reports.
Assist in translation of documents from English to Spanish and vice versa.
Make copies, send and receive faxes, scan documents
Mercantil Commerce Bank - 19 months ago